DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T••••• W•••• I••••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 106165SEC 801-41896IAPD
Latest filing Mar 30, 2023
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$461M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$173M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$461M as of Mar 30, 2023
Mar 29, 2012$1.4B then
HNW client RAUM$72.4M as of Mar 30, 2023
Mar 28, 2018$65.9M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 28, 20131 then
Employees (5.A)13 as of Mar 30, 2023
Mar 28, 201326 then
Private funds1 as of Mar 29, 2022
Mar 29, 20121 then
RAUM -26% over the last fiscal year-8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$461MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
662derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$991,162derivedHNW RAUM over HNW clients
Average account
$541,779derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
13.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$100M30%
  • Charitable organizations$93.6M28%
  • High-net-worth individuals$72.4M21%
  • Corporations and businesses$39.7M12%
  • Pension and profit-sharing plans$28.9M8.6%
  • Sovereign wealth funds$2.0M0.6%
Individual clients
589reported
HNW clients
73reported
Pension plan clients
13reported
Charitable clients
55reported
Accounts
851reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $278M managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• W•••• I••••••••• E••••• F•••• L••no longer reportedHedge Fund$15.6M2Mar 29, 2012
      T••••• W•••• E••••••• M•••••• F•••• L••Hedge Fund$11.8M2Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••• R••• · Chief Compliance Officercontrol
        since 03/2011 · owns 5% to 10%
      • J••••••• D••••••• M•••• · Chief Executive Officercontrol
        since 09/2018 · owns 10% to 25%
      • L•• W•• · Chairmancontrol
        since 09/2018 · owns 10% to 25%
      • M•••••••• G••••••• J••••• · Directorcontrol
        since 04/2016 · owns 10% to 25%
      • W•• J•••••••• · Directorcontrol
        since 09/2018 · owns 5% to 10%
      • Z••••• J••••• · Directorcontrol
        since 04/2016 · owns 10% to 25%
      • C•••• X•••• Y•• · Director
        since 09/2018 · owns 5% to 10%
      • M•• Y••••• · Senior Vice President
        since 09/2018 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 990 to 851
        Mar 29, 2022 to Mar 30, 2023
      • Advisory activities · 4 to 2
        Mar 29, 2022 to Mar 30, 2023
      • BD registered reps · 1 to 0
        Mar 29, 2022 to Mar 30, 2023
      • Charity clients · 54 to 55
        Mar 29, 2022 to Mar 30, 2023
      • Corporate clients · 117 to 104
        Mar 29, 2022 to Mar 30, 2023
      • HNW clients · 38 to 73
        Mar 29, 2022 to Mar 30, 2023
      • Individual clients · 759 to 589
        Mar 29, 2022 to Mar 30, 2023
      • Pension plan clients · 16 to 13
        Mar 29, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 1 to 0
        Mar 29, 2022 to Mar 30, 2023
      • Assets in custody · 11835562.0 to unset
        Mar 29, 2022 to Mar 30, 2023
      • Custody of client assets · true to false
        Mar 29, 2022 to Mar 30, 2023
      • Employees · 14 to 13
        Mar 29, 2022 to Mar 30, 2023
      • Private funds · 1 to unset
        Mar 29, 2022 to Mar 30, 2023
      • Discretionary RAUM · $620M to $461M
        Mar 29, 2022 to Mar 30, 2023
      • HNW RAUM · $82.5M to $72.4M
        Mar 29, 2022 to Mar 30, 2023
      • Individual RAUM · $166M to $100M
        Mar 29, 2022 to Mar 30, 2023
      • Pension RAUM · $30.4M to $28.9M
        Mar 29, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $11.8M to $0
        Mar 29, 2022 to Mar 30, 2023
      • RAUM · $620M to $461M
        Mar 29, 2022 to Mar 30, 2023
      • Wrap assets (manager) · $328M to $278M
        Mar 29, 2022 to Mar 30, 2023
      • Accounts · 979 to 990
        Mar 30, 2021 to Mar 29, 2022
      • Charity clients · 66 to 54
        Mar 30, 2021 to Mar 29, 2022
      • Corporate clients · 102 to 117
        Mar 30, 2021 to Mar 29, 2022
      • HNW clients · 39 to 38
        Mar 30, 2021 to Mar 29, 2022
      • Individual clients · 747 to 759
        Mar 30, 2021 to Mar 29, 2022
      • Pension plan clients · 17 to 16
        Mar 30, 2021 to Mar 29, 2022
      • Assets in custody · $13.7M to $11.8M
        Mar 30, 2021 to Mar 29, 2022
      • Discretionary RAUM · $688M to $620M
        Mar 30, 2021 to Mar 29, 2022
      • HNW RAUM · $79.4M to $82.5M
        Mar 30, 2021 to Mar 29, 2022
      • Individual RAUM · $206M to $166M
        Mar 30, 2021 to Mar 29, 2022
      • Pension RAUM · $34.7M to $30.4M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $13.7M to $11.8M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $688M to $620M
        Mar 30, 2021 to Mar 29, 2022
      • Wrap assets (manager) · $400M to $328M
        Mar 30, 2021 to Mar 29, 2022
      • Accounts · 936 to 979
        Jun 16, 2020 to Mar 30, 2021
      • Charity clients · 50 to 66
        Jun 16, 2020 to Mar 30, 2021
      • Corporate clients · 109 to 102
        Jun 16, 2020 to Mar 30, 2021
      • HNW clients · 37 to 39
        Jun 16, 2020 to Mar 30, 2021
      • Individual clients · 714 to 747
        Jun 16, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 3 to 1
        Jun 16, 2020 to Mar 30, 2021
      Signals
      4 dated events
      • T••••• W•••• I••••••••• L•• reported RAUM $461.1M, down 26% from $620.5M (2022-03-29 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Ramkumar Venkatramani (Director) no longer on Schedule A of T••••• W•••• I••••••••• L•• (listed 2020-06-16, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Wei Li (Chairman) appeared on Schedule A of T••••• W•••• I••••••••• L••
        Mar 28, 2019 · Control person joined · fact
      • T••••• W•••• I••••••••• L•• reported RAUM $732.8M, down 54% from $1.6B (2018-10-16 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026